Leo Wong

Leo Wong

Shearman & Sterling LLP

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FINRA Proposes Amendment to Corporate Financing Rule and Conflict of Interest Rule

FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry. FINRA has...more

2/14/2014 - Broker-Dealer Conflicts of Interest Corporate Financing Rule FINRA

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